-- RIA Compliance Technology has released a new guide addressing regulatory challenges facing investment advisors in 2025. The publication responds to growing concerns among RIAs who rank compliance issues—particularly AI implementation, anti-money laundering readiness, and cybersecurity infrastructure—as their most pressing challenge.
For more information, visit https://riacomptech.com/2025-compliance-trends-for-rias-how-to-leverage-compliance-software-solutions/
The guide examines the SEC's 2025 Examination Priorities, providing investment advisors with practical information on preparing for upcoming regulatory scrutiny. It covers fiduciary standards that ensure advisors act in clients' best interests, avoid conflicts of interest, and make sound decisions with appropriate disclosures.
Advertising rules receive significant attention in the publication, including recent changes to SEC Marketing Rule 206(4)-1 and FINRA Advertising Regulation Rule 2210. These updates affect how advisors can market their services, present performance results, and communicate with clients.
Additionally, the guide covers the growing importance of Environmental, Social, and Governance (ESG) compliance, which requires more specific documentation of criteria, due diligence, and transparent client communications.
For further compliance insights, visit https://www.kitces.com/kitces-report-independent-financial-advisor-technology-fintech-software-tools-research-2025/
The guide demonstrates how compliance software can assist firms with regulatory adherence through features such as personal trade surveillance, communication archiving, regulatory reporting, and data analysis. It emphasizes the importance of data security and privacy regulations, particularly relevant as ransomware and phishing attacks increasingly target the financial services industry. It also encourages firms to track filing dates using new automation solutions, a strategy which has been shown to improve compliance and reduce penalties.
Specifically, the guide's authors review the ways in which deployment of trusted tech-driven solutions can improve transparency and reputation among clients. In their own words, "While transparency is a regulatory obligation, it’s important not to overlook what many see as a moral obligation to clients. As much as RIAs look to avoid potential conflicts of interest, there will be occasions when this is unavoidable, which is where disclosure transparency is critical."
RIA Compliance Technology, founded in 2017, creates management solutions specifically for Registered Investment Advisory firms. Their systems streamline compliance processes, simplifying submissions, data collection, and workflows while satisfying regulatory requirements.
For additional information about RIA Compliance Technology and their services, visit https://riacomptech.com/
Contact Info:
Name: Blake Bjordahl
Email: Send Email
Organization: RIA Compliance Technology
Address: 10031 E Dynamite Blvd Suite 240, Scottsdale, AZ 85262, United States
Website: https://riacomptech.com/
Release ID: 89168907